RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
W•••• O•• T••
- T••• I••••••••• A•••••••• L•• independent RIA currentsince Aug 1, 2018 · La Habra, Ca
- W•••••• I••••••••• S••••••••• formerOct 10, 2012 to Aug 1, 2018 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 24, 2012 · Arcadia, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 7, 2008 to Jan 3, 2011 · San Marino, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 26, 2007 to Aug 5, 2008 · West Covina, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 31, 2005 to Nov 9, 2007 · Los Angeles, Ca
- I••• S••••••••• I••• unclassifiedJul 8, 2002 to Sep 2, 2005 · Torrance, Ca
- W•••••• I••••••••• S••••••••• to T••• I••••••••• A•••••••• L••left Aug 1, 2018, registered Aug 1, 2018 (0 days) · RIA to RIA
- W•••• F•••• A••••••• to W•••••• I••••••••• S•••••••••left Sep 24, 2012, registered Oct 10, 2012 (16 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• I••••••••• L••left Aug 5, 2008, registered Aug 7, 2008 (2 days) · Other
- U••• B•••••• A•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 9, 2007, registered Nov 26, 2007 (17 days) · Other
- I••• S••••••••• I••• to U••• B•••••• A•••••••• L••left Sep 2, 2005, registered Aug 31, 2005 (-2 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address